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3.1 Definitions
For the purposes of the present document, the following terms and definitions apply: active channel: any channel which has been assigned to a cable modem's transmit channel set either in a registration response message or a dynamic bonding request message, and prior to registration NOTE: After registration, the set of ...
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3.2 Symbols
For the purposes of the present document, the following symbols apply: η Eta (lower case); a measure of modulation µ Mu/micron (lower case); represents 10-6 τ Tau (lower case); a measure of time µs Microsecond ETSI ETSI TS 103 311-2 V1.1.1 (2017-02) 27
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3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply: ADC Analog-to-Digital Converter ANSI American National Standards Institute AWGN Additive White Gaussian Noise BCH Bose, Ray-Chaudhuri, Hocquenghem [codes] BER Bit Error Ratio BER Bit Error Rate BPSK Binary Phase Shift Keying BW BandWidth Cable...
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4 Requirements and Conventions
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4.1 Requirements
Throughout the present document, the words that are used to define the significance of particular requirements are capitalized. These words are: "SHALL" This word means that the item is an absolute requirement of the present document. "SHALL NOT" This phrase means that the item is an absolute prohibition of the present...
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4.2 Conventions
In the present document, the following convention applies any time a bit field is displayed in a figure. The bit field should be interpreted by reading the figure from left to right, then top to bottom, with the most-significant bit (MSB) being the first bit read, and the least-significant bit (LSB) being the last bit ...
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5 Overview and Functional Assumptions
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5.0 Cable Plant Characteristics
This clause describes the characteristics of a cable television plant, assumed to be for the purpose of operating a data- over-cable system. The cable plants have very diverse physical topologies. These topologies range from fiber to the home node architectures as well as fiber nodes with many actives in cascade. The p...
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5.1 Overview
The present document defines the PHY layer protocol of DOCSIS 3.1. It also describes the channel assumptions over which DOCSIS 3.1 systems are expected to operate. DOCSIS 3.1 ultimate service goal of multi-gigabit per second in the downstream direction and gigabit per second in the upstream direction resulted in signif...
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5.2 Functional Assumptions
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5.2.1 Equipment Assumptions
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5.2.1.1 Frequency Plan
In the downstream direction, the cable system is assumed to have a pass band with a lower edge of either 54 MHz, 87,5 MHz, 108 MHz or 258 MHz, and an upper edge that is implementation-dependent but is typically in the range of 550 to 1 002 MHz. Upper frequency edges extending to 1 218 MHz, 1 794 MHz and others are expe...
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5.2.1.2 Compatibility with Other Services
The CM shall coexist with any services on the cable network. The CMTS shall coexist with any services on the cable network. In particular: • The CMTS shall be interoperable in the cable spectrum assigned for CMTS and CM interoperation while the balance of the cable spectrum is occupied by any combination of television ...
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5.2.1.3 Fault Isolation Impact on Other Users
As CMTS transmissions are on a shared-media, point-to-multipoint system, fault-isolation procedures should take into account the potential harmful impact of faults and fault-isolation procedures on numerous users of the data-over-cable, video and other services. For the interpretation of harmful impact, see clause 5.2....
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5.2.1.4 Cable System Terminal Devices
The CM is expected to meet and preferably exceed all applicable regulations for Cable System Termination Devices and Cable Ready Consumer Equipment as defined in FCC Part 15 [14] and Part 76 [15]. None of these specific requirements may be used to relax any of the specifications contained elsewhere within the present d...
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5.2.2 RF Channel Assumptions
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5.2.2.0 Cable Networks Interoperability
The data-over-cable system, configured with at least one set of defined physical-layer parameters (e.g. modulation, interleaver depth, etc.) from the range of configurable settings described in the present document, is expected to be interoperable on cable networks having characteristics defined in this clause. This is...
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5.2.2.1 Transmission Downstream
The RF channel transmission characteristics of the cable network in the downstream direction are described in table 5.1. These numbers assume total average power of a digital signal in a 192 MHz channel bandwidth for subcarrier levels unless indicated otherwise. For impairment levels, the numbers in table 5.1 assume av...
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5.2.2.2 Transmission Upstream
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5.2.2.2.0 RF Channel Transmission Characteristics
The RF channel transmission characteristics of the cable network in the upstream direction are described in table 5.2. No combination of the following parameters will exceed any stated interface limit defined elsewhere in the present document. Transmission is from the CM output at the customer location to the headend. ...
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5.2.2.2.1 Availability
Cable network availability is typically greater than 99,9 %.
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5.2.3 Transmission Levels
The nominal power level of the upstream CM signal(s) will be as low as possible to achieve the required margin above noise and interference. Uniform power loading per unit bandwidth is commonly followed in setting upstream signal levels, with specific levels established by the cable network operator to achieve the requ...
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5.2.4 Frequency Inversion
There will be no frequency inversion in the transmission path in either the downstream or the upstream directions, i.e. a positive change in frequency at the input to the cable network will result in a positive change in frequency at the output.
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6 PHY Sublayer for SC-QAM
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6.1 Scope
This clause applies to cases where a DOCSIS 3.1 CM or CMTS is operating with SC-QAM operation only, with no OFDM/OFDMA operation and for the SC-QAM channels with simultaneous operation of SC-QAM and OFDM/OFDMA channels unless otherwise noted. As such, it represents backward compatibility requirements when operating wit...
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6.2 Upstream Transmit and Receive
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6.2.1 Overview
See clause 6.2.1 of [5], with the exceptions noted below. A CM shall support at least eight (8) active upstream channels (which are referred to as the Transmit Channel Set for that CM). A CMTS shall support at least eight (8) active upstream channels. A CMTS may support S-CDMA mode. If a CMTS implements S-CDMA mode, th...
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6.2.2 Signal Processing Requirements
See clause 6.2.2 of [5].
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6.2.3 Modulation Formats
See clause 6.2.3 of [5].
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6.2.4 R-S Encode
See clause 6.2.4 of [5].
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6.2.5 Upstream R-S Frame Structure (Multiple Transmit Enabled)
See clause 6.2.5 of [5].
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6.2.6 Upstream R-S Frame Structure (Multiple Transmit Disabled)
See clause 6.2.6 of [5].
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6.2.7 TDMA Byte Interleaver
See clause 6.2.7 of [5].
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6.2.8 Scrambler (Randomizer)
See clause 6.2.8 of [5]. ETSI ETSI TS 103 311-2 V1.1.1 (2017-02) 37
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6.2.9 TCM Encoder
See clause 6.2.9 of [5].
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6.2.10 Preamble Prepend
See clause 6.2.10 of [5].
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6.2.11 Modulation Rates
See clause 6.2.11 of [5].
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6.2.12 S-CDMA Framer and Interleaver
See clause 6.2.12 of [5].
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6.2.13 S-CDMA Framer
See clause 6.2.13 of [5].
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6.2.14 Symbol Mapping
See clause 6.2.14 of [5].
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6.2.15 S-CDMA Spreader
See clause 6.2.15 of [5].
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6.2.16 Transmit Pre-Equalizer
See clause 6.2.16 of [5].
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6.2.17 Spectral Shaping
See clause 6.2.17 of [5].
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6.2.18 Relative Processing Delays
See clause 6.2.18 of [5].
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6.2.19 Transmit Power Requirements
Applies only to cases where a DOCSIS 3.1 CM is operating with a DOCSIS 3.0 CMTS or where a DOCSIS 3.1 CMTS is operating with a DOCSIS 3.0 CM. See clause 6.2.19 of [5].
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6.2.20 Burst Profiles
See clause 6.2.20 of [5].
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6.2.21 Burst Timing Convention
See clause 6.2.21 of [5]. ETSI ETSI TS 103 311-2 V1.1.1 (2017-02) 38
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6.2.22 Fidelity Requirements
Applies only to cases where a DOCSIS 3.1 CM is operating with a DOCSIS 3.0 CMTS or where a DOCSIS 3.1 CMTS is operating with a DOCSIS 3.0 CM. See clause 6.2.22 of [5].
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6.2.23 Upstream Demodulator Input Power Characteristics
See clause 6.2.23 of [5].
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6.2.24 Upstream Electrical Output from the CM
Applies only to cases where a DOCSIS 3.1 CM is operating with a DOCSIS 3.0 CMTS or where a DOCSIS 3.1 CMTS is operating with a DOCSIS 3.0 CM. See clause 6.2.24 of [5].
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6.2.25 Upstream CM Transmitter Capabilities
Applies only to cases where a DOCSIS 3.1 CM is operating with a DOCSIS 3.0 CMTS or where a DOCSIS 3.1 CMTS is operating with a DOCSIS 3.0 CM. See clause 6.2.25 of [5].
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6.3 Downstream Transmit
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6.3.1 Downstream Protocol
See clause 6.3.1 of [3].
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6.3.2 Spectrum Format
See clause 6.3.2 of [3]. 6.3.3 Scaleable Interleaving to Support Video and High-Speed Data Services See clause 6.3.3 of [3].
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6.3.4 Downstream Frequency Plan
See clause 6.3.4 of [3].
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6.3.5 DRFI Output Electrical
Applies only the case where a DOCSIS 3.1 device is operating in DOCSIS 3.0 mode only. For legacy, SC-QAMs, the EQAM and CMTS shall support the electrical output requirements specified in the following clauses and tables of [3]: • clause 6.3.5, DRFI Output Electrical; • clause 6.3.5.1, CMTS or EQAM Output Electrical; • ...
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6.3.6 CMTS or EQAM Clock Generation
Applies only the case where a DOCSIS 3.1 CMTS is operating in a DOCSIS 3.0 mode only. See clause 6.3.6 of [3].
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6.3.7 Downstream Symbol Clock Jitter for Synchronous Operation
Applies only the case where a DOCSIS 3.1 CMTS is operating in a DOCSIS 3.0 mode only. See clause 6.3.7 of [3].
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6.3.8 Downstream Symbol Clock Drift for Synchronous Operation
Applies only the case where a DOCSIS 3.1 CMTS is operating in a DOCSIS 3.0 mode only. See clause 6.3.8 of [3].
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6.3.9 Timestamp Jitter
See clause 6.3.9 of [3].
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6.4 Downstream Receive
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6.4.1 Downstream Protocol and Interleaving Support
See clause 6.3.1 of [5].
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6.4.2 Downstream Electrical Input to the CM
See clause 6.3.2 of [5], with the exceptions noted below. A CM shall support at least 24 active downstream channels. A CMTS shall support at least 24 active downstream channels.
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6.4.3 CM BER Performance
See clause 6.3.3 of [5].
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6.4.4 Downstream Multiple Receiver Capabilities
See clause 6.3.4 of [5]. ETSI ETSI TS 103 311-2 V1.1.1 (2017-02) 40
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6.4.5 Non-Synchronous DS Channel Support
Applies only to the case where a DOCSIS 3.1 CM operating with a DOCSIS 3.0 CMTS. See clause 6.3.5 of [5].
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7 PHY Sublayer for OFDM
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7.1 Scope
The present document defines the electrical characteristics and signal processing operations for a cable modem (CM) and Cable Modem Termination System (CMTS). It is the intent of the present document to define an interoperable CM and CMTS such that any implementation of a CM can work with any CMTS. It is not the intent...
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7.2 Upstream and Downstream Frequency Plan
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7.2.0 System Spectrum Requirement
The following spectrum definitions are based on the system requirement that the downstream transmission frequencies always reside above the upstream transmission frequencies in the cable plant.
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7.2.1 Downstream CM Spectrum
The CM shall support a minimum of two independently configurable OFDM channels each occupying a spectrum of up to 192 MHz in the downstream. The CM shall support a downstream upper band edge of 1,218 GHz. The CM may support a downstream upper band edge of 1,794 GHz. The CM shall support a downstream lower band edge of ...
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7.2.2 Downstream CMTS Spectrum
The CMTS shall support a minimum of two independently configurable OFDM channels each occupying a spectrum of up to 192 MHz in the downstream. The CMTS shall support a downstream upper band edge of 1,218 GHz. The CMTS may support a downstream upper band edge of 1,794 GHz. The CMTS shall support a downstream lower band ...
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7.2.3 Upstream CM Spectrum
The CM shall support a minimum of two independently configurable OFDMA channels each occupying a spectrum of up to 96 MHz in the upstream. The CM may support more than two independently configurable OFDMA channels each occupying a spectrum of up to 96 MHz in the upstream. ETSI ETSI TS 103 311-2 V1.1.1 (2017-02) 41 The ...
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7.2.4 Upstream CMTS Spectrum
The CMTS shall support a minimum of two independently configurable OFDMA channels each occupying a spectrum of up to 96 MHz in the upstream. The CMTS may support more than two independently configurable OFDMA channels each occupying a spectrum of up to 96 MHz in the upstream. The CMTS shall support upstream transmissio...
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7.2.5 Channel Band Rules
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7.2.5.0 OFDM/OFDMA Channel Planning
During OFDM/OFDMA channel planning, the following rules are to be observed to ensure proper operation of DOCSIS 3.1 CMTS and CM. The CMTS shall ensure that the configured OFDM/OFDMA channels are aligned with the rules specified in clauses 7.2.5.2 and 7.2.5.3.
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7.2.5.1 Downstream Channel Bandwidth Rules
The CMTS shall ensure that the encompassed spectrum of a 192 MHz downstream OFDM channel does not exceed 190 MHz. Therefore the CMTS shall ensure that the number of contiguous active subcarriers in a downstream OFDM channel does not exceed 3 800 for 4K FFT and 7 600 for 8K FFT. When configured for 4K FFT, the CMTS shal...
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7.2.5.2 Downstream Exclusion Band Rules
The CM and CMTS are not expected to meet performance and fidelity requirements when the system configuration does not comply with the downstream exclusion band rules listed below. These rules apply to each OFDM channel and also to the composite downstream inclusive of OFDM and non-OFDM channels: • There has to be at le...
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7.2.5.3 Upstream Channel Bandwidth Rules
The CMTS shall ensure that the encompassed spectrum of a 96 MHz upstream OFDMA channel does not exceed 95 MHz. Therefore the number of contiguous active subcarriers in an upstream OFDMA channel shall not exceed 1 900 for 2K FFT and 3 800 for 4K FFT. When configured for 2K FFT, the CMTS shall only use subcarriers in the...
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7.2.5.4 Upstream Exclusion Band Rules
These rules apply to the upstream exclusion band: • Excluded subcarriers will only occur between minislots. • Subcarrier exclusions between minislots can be any integer number of subcarriers. There is no minimum subcarrier exclusion restriction.
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7.3 OFDM Numerology
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7.3.1 Downstream OFDM Numerology
DOCSIS 3.1 uses OFDM for downstream modulation. Two modes of operation are defined for the downstream: 4K FFT and 8K FFT modes for a sampling rate of 204,8 MHz. These are described in clause 7.5.7. Table 7.1 summarizes the numerical values for the downstream OFDM parameters; a more detailed description of the parameter...
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7.3.2 Upstream OFDMA Numerology
DOCSIS 3.1 uses OFDMA (orthogonal frequency-division multiple access) for upstream modulation. OFDMA is a multi-user version of OFDM, and assigns subsets of subcarriers to individual CMs. The upstream OFDMA parameters are derived from the downstream parameters, and are summarized in table 7.2. A more detailed descripti...
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7.3.3 Subcarrier Clocking
The "locking" of subcarrier "clock and carrier" are defined and characterized by the following rules: • Each OFDM symbol is defined with an FFT duration (equal to subcarrier clock period) of nominally 20 µs or 40 µs. For each OFDM symbol, the subcarrier clock period (µs) may vary from nominal with limits defined in cla...
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7.4 Upstream Transmit and Receive
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7.4.1 Overview
This clause specifies the upstream transmission electrical and signal processing requirements for the transmission of OFDM modulated RF signals from the CM to the CMTS.
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7.4.2 Signal Processing Requirements
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7.4.2.0 OFDMA Frames
Upstream transmission uses OFDMA frames. Each OFDMA frame is comprised of a configurable number of OFDM symbols, K. Several transmitters may share the same OFDMA frame by transmitting data and pilots on allocated sub-carriers of the OFDMA frame. There are several pilot patterns as described in clause 7.4.17. The struct...
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7.4.2.1 Framing
Figure 7.3 describes how the received bits from the PHY-MAC Convergence layers are framed before being converted into constellation symbols. The number of FEC codewords, corresponding codeword lengths and zero-padding bits are calculated by the PHY-MAC Convergence layer as described in clause 7.4.4.1 according to the a...
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7.4.2.2 Forward Error Correction Encoding
Data received from the PHY-MAC Convergence layer interface, along with the FEC padding, is LDPC encoded. The upstream has three LDPC codes: a long, medium, and short FEC code, as described in clause 7.4.4. Prior to encoding, the transmitter is to decide on the configuration of the codewords as described in clause 7.4.4...
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7.4.2.3 Randomizer and Symbol Mapper
The encoded bits are then randomized (scrambled) using the PRBS scrambler as specified in clause 7.4.5. The scrambler output bits are converted into constellation symbols according to the corresponding modulation order of the minislot. All subcarriers of a given type (Pilots, Complementary Pilots, Data subcarriers) in ...
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7.4.2.4 OFDMA framer and Interleaver
Constellation symbols then enter the OFDMA framer and Interleaver block. The OFDMA framer adds pilots according to the pilot pattern associated with the transmission burst minislot. The constellation symbols are written to subcarriers associated with the transmission burst minislots and are then interleaved in time and...
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7.4.2.5 Pre-Equalization
The upstream transmitter applies pre-equalization as described in clause 7.4.18 in order to pre-distort the transmitted signals according to coefficients received from the CMTS to compensate for the channel response.
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7.4.2.6 IFFT Transformation
In this stage each pre-equalized symbol is transformed into the time domain using the IFFT block. IFFT inputs that are not used (that is, that do not correspond to any of the minislots used by the transmission burst) are set to zero. The transmitter converts the output of the IFFT from parallel to serial and performs c...
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7.4.2.7 Cyclic Prefix and Windowing
A segment at the end of the IFFT output is prepended to the IFFT output; this is referred to as the Cyclic Prefix (CP) of the OFDM symbol. For windowing purposes, another segment at the start of the IFFT output is appended to the end of the IFFT output - the roll-off period (RP). The addition of a cyclic prefix enables...
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7.4.3 Time and Frequency Synchronization
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7.4.3.0 Timing and Frequency Synchronization Requirements
CM upstream frequency and timing of transmissions is based on downstream tracking, and in the case of timing, also based upon receiving and implementing timing adjustments from the CMTS. This clause describes the CM upstream transmission performance requirements on frequency and timing which are based upon tracking the...
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7.4.3.1 Channel Frequency Accuracy
To support OFDMA upstream using legacy downstream, the CM shall provide upstream frequency accuracy, relative to the downstream reference, of ≤ ±20 Hz in at least Five Sigma of upstream grants, under all the downstream conditions detailed in clause 7.5.9. Upstream frequency accuracy measurements are averaged over the d...
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7.4.3.2 Channel Timing Accuracy
For OFDMA upstream, regardless of what is used for the timing master, the ranging time offset will be given as described in [4]. Specifically, this timestamp has an integer portion of 10,24 MHz clocks. It also has an integer portion of counting 1/20ths duration of 10,24 MHz clock period (this integer portion counts up ...
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7.4.3.3 Modulation Timing Jitter
The CM shall implement the upstream timing so that the OFDMA clock timing error (with the mean error subtracted out) relative to the CMTS master clock as measured at the CMTS will be within ±10 ns in each burst measured within 35 s measurement duration. This applies to the worst-case jitter and frequency drift specifie...